Tito Pombra

Tito Pombra is the Founder and President of Adviser Compliance Consulting Inc. (ACC) a compliance consultation firm which services, registered investment advisers, hedge funds, private funds, investment companies, financial professionals, global managers and CPOs. Over the years, Mr. Pombra has garnered extensive experience in the global asset management industry, which includes over twenty-three years in the Investment Company/Investment Adviser and international compliance areas. His consultation practice is focused on the areas of regulatory exams, acting as outsource CCO, annual reviews, Mock SEC exams, creating a strong culture of compliance, policies and procedures development, advertising and marketing reviews, and mentoring and training compliance professionals. Before founding ACC, Mr. Pombra was President of Core Compliance and Legal Service, where he led the compliance consulting practice to identify and execute new business strategies that resulted in significant new client’s acquisition and growth. In addition, he provided proactive compliance advice to clients on Investment Adviser (Rule 206(4)-7), Investment Company (Rule 38a-1) and Private Fund Compliance Programs. Establish policies and procedures, complete annual reviews, Mock SEC exams, risk assessments and compliance training for variety of investment advisers.

1g. IA/PF - Annual Review of Policies and Procedures (Basic - OPEN)